, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
, as a government organization, has been assigned under the NAP Plan which following UNGPs Guiding Principles to support the business sector in the Thai capital market, especially listed companies, to
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
financial planning tool and raising people’s awareness into actual implementation. “In order to promote wealth advisors, SEC will amend the regulations to attract and reduce obstacles for new and existing
SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC has been monitoring the corporate bond market on a continuous basis. There are many policy issues to address properly. For example, corporate
Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the
in the Capital Market Business. Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days
from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online
categories of Student and General Public) who successfully advanced to the final round of the Capital Market Datathon Project, which attracted 82 participating teams in total. The competition aimed to